Compliance Director — 1940 Act Investment Trusts

Nottingham; Rocky Mount (NC); Sur place; USD 80 000 - 120 000; Plein temps

Résumé du poste

A financial services company based in North Carolina seeks a Compliance Manager/Director to oversee compliance for client series trusts. This role involves supporting the Chief Compliance Officer, managing compliance calendars, attending Board meetings, and ensuring adherence to the Investment Company Act and other regulations. The ideal candidate possesses significant experience in compliance and a strong attention to detail. This is a full-time position at the mid-senior level.

Qualifications

• Meaningful experience with 1940 Act compliance.
• Hands-on compliance experience with a registered investment trust or investment advisor.

Responsabilités

• Support and serve as the designated Chief Compliance Officer for investment trusts.
• Maintain regulatory compliance calendars.
• Attend Board meetings and present reports.
• Develop and maintain compliance manuals and policies.
• Perform annual due diligence reviews and testing.
• Manage code of ethics processes.
• Provide guidance on 1940 Act compliance.
• Assist in regulatory examinations.
• Monitor regulatory developments.

Connaissances

Knowledge of the Investment Company Act of 1940

Strong written and oral communication skills

Client service mindset

Multi-tasking and prioritization skills

Attention to detail

Teamwork

Problem-solving skills

Description du poste

A financial services company based in North Carolina seeks a Compliance Manager/Director to oversee compliance for client series trusts. This role involves supporting the Chief Compliance Officer, managing compliance calendars, attending Board meetings, and ensuring adherence to the Investment Company Act and other regulations. The ideal candidate possesses significant experience in compliance and a strong attention to detail. This is a full-time position at the mid-senior level.